Intellectual Property Policy

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               Intellectual Property Policy
 Version                                     4.0
 TRIM file number                            05/XXXX
 Short description                           A policy on managing and protecting intellectual
                                             property arising out of the work of CSU and its staff
                                             and students
 Relevant to                                 All employees and students
 Approved by                                 Executive Committee of Council
 Responsible officer                         Deputy Vice-Chancellor (Research)
 Responsible office                          Centre for Research and Graduate Training
 Date introduced                             5 December, 1997 (INF01 – resolution BG 97/204)
 Date(s) modified                            18 October, 2000 (resolution CNL 00/206)
                                             27 May, 2004 (resolution CNL 04/71)
                                             18 November, 2005 (resolution EXE 05/106)
                                             31 August 2007 (resolution CNL 07/84)
 Next scheduled review date                  November, 2008
 Related University documents                Intellectual Property guidelines and forms
                                             Policy for Outside Professional Activities
                                             CSU Code of Conduct for Staff
 Related legislation
 Key words                                   policy, intellectual property, ownership,

                                      TABLE OF CONTENTS

 1.                     Purpose
 2.                     Scope
 3.                     Principles
 4.                     References
 5.                     Definitions
 6.                     Ownership
 7.                     Use by non-owners
 8.                     University obligations
 9.                     Commercialisation
 10.                    Disbursement of income
 11.                    Education program
 12.                    Commercialisation Officer
 13.                    Intellectual Property and Outside Professional Activities
 14.                    Review

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 15.                   Authorised Signatories

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1.     PURPOSE

       1.1     The provisions of this policy have been established to manage and
               protect intellectual property arising out of the work of Charles Sturt
               University (CSU), its staff and students, and where appropriate, facilitate
               its commercialisation.

       1.2     The policy shall form part of the Conditions of Employment of academic
               and general staff of the University.

2.      SCOPE

       This policy applies to both full-time and fractional time staff and to students of
       the University.


       3.1     CSU aims to encourage an academic environment in which teaching,
               learning and research may flourish.

       3.2     CSU adheres to the principle that knowledge and ideas should be made
               widely available by publication and other means for public benefit.

       3.3     Where commercial considerations are judged to be in conflict with this
               principle, CSU shall seek to resolve any conflict to ensure that this
               principle is not unduly compromised.


       This policy is to be read in conjunction with the:

       (a)     “CSU Policy for Outside Professional Activities”; and

       (b)     “CSU Code of Conduct”.


       For the purposes of this policy, the following definitions apply.

       5.1     “Dean” means a Dean of a Faculty or, where the context permits, a
               Director of a University Centre, an Executive Director or Head of School.

       5.2     “Intellectual property” means:

               (a)    any proprietary right which arises under, or is capable of being
                      obtained under, legislation relating to copyright, patents, designs,
                      trade marks, circuit layouts or plant varieties; and

               (b)    any common law intellectual property, including know-how, trade
                      secrets and confidential information;

               and means and includes such rights to the extent that they are added to
               or varied from time to time by amendments to relevant legislation.

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       5.3     “Intellectual Property and Outside Professional Activities
               Committee” means the committee established under clause 13.

       5.3     “Commercialisation Officer” means a person reporting to the Pro-Vice-
               Chancellor (Research and Graduate Training) with responsibility for
               implementing decisions relating to the commercialisation of intellectual

       5.4     “Invention” means and includes any new and useful, or new and useful
               improvement of, a process, machine, product or other manufactured item
               or composition of matter, whether or not it is patentable and whether or
               not it has been reduced to writing or any other physical form of
               expression, and includes any related know-how and any documents,
               computer software or other medium in which any such invention is
               described or comprised.

       5.5     “Net income” means sale, royalty, licensing and other income received
               from the commercial exploitation of intellectual property less legal and
               other fees and expenses in establishing and protecting the intellectual
               property and in negotiating and concluding any licensing or other
               agreements relating to the intellectual property.

       5.6     “Originator” means an employee of the University who is an author,
               creator or inventor of work or subject matter in which intellectual property
               may or does subsist.

       5.7     “Specific contribution” in relation to the creation of intellectual property
               means funding, resources including staff resources other than the salary
               of the Originator, facilities or apparatus which is identified by the
               University for creating intellectual property.

       5.8     “Centre of the University” means a designated Centre approved by the
               University Council or by the Vice-Chancellor acting under delegation.

       5.9     “Charles Sturt University market” means students who are enrolled
               with or associated with Charles Sturt University or its affiliates for a
               course, subject or unit of instruction.


       6.1     CSU owns all intellectual property which is created by an Originator in
               pursuance of the Originator’s duties under a contract of employment with
               CSU and including materials produced by Centres of CSU. Examples of
               such intellectual property include, but are not limited to:

               (a)    inventions; and

               (b)    copyright work, including courseware (books, print, videos, CD-
                      ROMs, manuals, audiovisual recordings, computer software or
                      other materials) created specifically for use in, or in connection
                      with, a course, subject or unit offered by the University.

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       6.2     Despite sub-clause 6.1, Originators own intellectual property created by
               them in the following copyright works, the subject matter of which is
               primarily concerned with scholarship, research, artistic expression,
               creativity or academic debate:

               (a)    books, articles, or other similar works, whether in written or any
                      other form;

               (b)    artistic works created by researchers in fine art or design;

               (c)    musical works or dramatic works written, created or composed by
                      an Originator; and

               (d)    any other professional work created by an Originator;

               except for such works which:

               (e)    were prepared for CSU course work and teaching;

               (f)    were created using intellectual property owned by CSU;

               (g)    are film or sound recordings or works of art or other professional
                      works in respect of the creation of which CSU has made a specific
                      and significant contribution of funding, resources, facilities or
                      apparatus and which led to the creation of such works; and

               (h)    were prepared for invention and copyright work referred to in sub-
                      clause 6.1.

       6.3     For materials developed for use in connection with a course, subject or
               unit offered by CSU, where an external publisher seeks to commission an
               Originator of CSU as author, the author must seek approval from the
               Vice-Chancellor through the relevant Dean and the Intellectual Property
               and Outside Professional Activities Committee (see clause 13).

       6.4     CSU will waive rights of ownership for teaching materials developed by
               an Originator in an area not related to subjects offered by CSU or not
               involving any significant commitment of CSU resources including staff

       6.5     Despite any contrary provision in this policy, all contracts existing at the
               time of the adoption of this policy that are between CSU and Originators,
               governments, corporations and other external organisations, and that
               relate to CSU intellectual property, shall remain in full force and effect
               until such contracts expire. This policy shall take effect after existing
               third party contracts expire.

       6.6     If CSU intellectual property arises out of or in connection with a project
               that is the subject of an agreement with a third party, including Co-
               operative Research Centres, which provides for the ownership of such
               intellectual property and CSU has agreed in writing to the provisions of
               that agreement, then, despite any contrary provisions in this policy, the
               provisions of that agreement will govern ownership of all rights in the
               intellectual property.

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       6.7     Ownership by students

               6.7.1 In the absence of a specific contract to the contrary, students own
                     the intellectual property which they invent.

               6.7.2 Normally CSU does not encourage the involvement of students in
                     commercial activities. However, it recognises that there may be
                     exceptions when postgraduate and honours students may benefit
                     from and contribute to consulting, contract research, collaborative
                     research and professional practice.

               6.7.3 In particular, where intellectual property is concerned:

                      (a)      students shall have a right to have their thesis or other work

                      (b)      students shall have the right to submit their thesis and work
                               for publication except where, for reasons of confidentiality,
                               the Vice-Chancellor obtains the agreement of the supervisors
                               and the student to restrict public access to the work for a
                               limited period, usually not exceeding eighteen (18) months;

                      (c)      staff who are supervisors of a student shall report on the
                               intellectual property disclosure form to the Commercialisation
                               Officer and to the student:

                                    as soon as it becomes apparent to them that work
                                    under supervision contains intellectual property to which
                                    the University may have a claim;

                                    where a student has an agreement or employment
                                    arrangement with a third party who may claim rights; or

                                    where a student at enrolment brings intellectual
                                    property to be used in candidature.

               6.7.4 Ownership vests in CSU in the following exceptions to student

                      (a)      where a student participates as part of a team with CSU staff
                               in consulting, contract research or collaborative research;

                      (b)      where a student uses pre-existing intellectual property owned
                               by CSU;

                      (c)      where a student is a co-author with a member of staff in work
                               which is commercial or confidential;

                      (d)      where a student is a co-inventor with a member of staff,
                               whether the invention is patented or not; or

                      (e)      where a student works as part of a research team in a Co-
                               operative Research Centre.

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                      In these circumstances the Vice-Chancellor may require the
                      student to assign their intellectual property rights to the University.

               6.7.5 CSU through the Commercialisation Officer shall advise students of
                     their rights and promptly alert them to any hindrance to ownership
                     of intellectual property or publication. Students shall have access
                     to the Intellectual Property and Outside Professional Activities
                     Committee (clause 13).


       7.1     Where the University owns copyright in a copyright work, the Originator is
               granted by operation of this policy a non-exclusive, royalty-free and
               irrevocable licence to draw from the work for the Originator’s research,
               teaching and professional practice.

       7.2     Where an Originator owns copyright in a copyright work which is created
               in the circumstances referred to in sub-clause 6.2, CSU is by operation of
               this policy granted a non-exclusive, royalty-free and irrevocable licence to
               reproduce, publish, perform, broadcast, disseminate and otherwise use
               the work for CSU’s teaching, research and professional purposes.

       7.3     An Originator who leaves the employ of CSU may apply at any time for
               the release of the copyright.


       8.1     Where CSU publishes or causes to be published a copyright work owned
               by CSU pursuant to this policy:

               (a)    without adaptation or other modification, CSU shall ensure that the
                      authorship of the work is acknowledged in the publication; or

               (b)    with adaptation or other modification, CSU shall consult with the
                      Originator of the work on whether the authorship of the work is to
                      be acknowledged and on the form of words of that

       8.2     Where CSU assigns or licenses a copyright work created by an
               Originator pursuant to this policy, CSU shall ensure that a condition of
               the assignment or licensing agreement requires the purchaser or
               licensee to use their best efforts to obtain the agreement of the Originator
               of the work on whether the authorship of the work is to be acknowledged
               and, if so, the form of that acknowledgment.

       8.3     Where CSU owns intellectual property other than copyright, created by
               an Originator pursuant to this policy, it shall ensure that the Originator is
               acknowledged as the inventor or co-inventor, as the case requires, in any
               relevant patent application/s or other documentation.

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       9.1     Where teaching resources are published by CSU, no royalty is payable to
               Originators for material supplied or sold to CSU students. However, for
               other markets, disbursement of royalty income to CSU and the Originator
               shall be agreed on the basis of individual contracts and approved by the
               Vice-Chancellor.     Such agreements must be in place before
               commercialisation occurs.

       9.2     Where an Originator creates intellectual property in the form of invention,
               which for the purposes of this policy includes know-how that is owned by
               CSU pursuant to this policy, and which is, in the opinion of the Originator,
               Dean or Commercialisation Officer, capable of commercial exploitation,
               the Originator shall provide all necessary details on the intellectual
               property disclosure form and submit the form to the Commercialisation

       9.3     Following consultation with the Originator and the Intellectual Property
               and Outside Professional Activities Committee, the Commercialisation
               Officer shall recommend to the Vice-Chancellor whether CSU should
               become involved in the commercialisation of any intellectual property
               which is disclosed under sub-clause 6.2 or is otherwise brought to the
               notice of the Vice-Chancellor.

       9.4     The Commercialisation Officer shall actively pursue commercial
               opportunities in consultation with the Originator and, within a period of six
               (6) months, or sooner if possible, the Vice-Chancellor shall decide
               whether to assign the property to the Originator.

       9.5     Where CSU has decided not to become involved in the
               commercialisation of any intellectual property, then the University has
               waived its future rights in respect of that intellectual property.

       9.6     If CSU decides to retain the intellectual property, the Vice-Chancellor
               may subsequently, at any time, offer to assign it to the Originator. If the
               Vice-Chancellor so offers to assign any intellectual property disclosed
               under sub-clause 9.2, then:

               (a)    the University may request delay of the publication of research
                      results for up to 12 months to protect the commercial viability of the
                      innovation or commercially exploitable intellectual property;

               (b)    the Originator shall be free to protect, exploit or otherwise use the
                      intellectual property at their discretion and at the Originator’s cost;

               (c)    if the Originator so requests, the relevant intellectual property rights
                      shall be promptly assigned to the Originator by CSU; and

               (d)    the Originator shall not use CSU resources beyond those normally
                      used as part of the Originator’s ordinary employment with CSU
                      unless the written approval of the Vice-Chancellor and the
                      appropriate Dean is given.

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       9.7     Where CSU is the owner of any intellectual property in an invention and
               wishes to commercialise or otherwise exploit the invention under the
               terms of this policy, CSU is free to commercialise or otherwise exploit or
               use such intellectual property and to execute such documents as CSU
               deems necessary for the purposes of the commercial exploitation of that
               invention, consistent with the objectives of this policy.

       9.8     Where CSU decides to commercialise or otherwise exploit the intellectual
               property in an invention, CSU shall inform and, as necessary, consult
               with the Originator of the invention, within eight (8) weeks of the initial
               contact made by the Originator, on the proposed course of action, which
               CSU shall have an absolute discretion to determine. This may include,
               without limitation, the following:

               (a)    the commercialisation strategy;

               (b)    the filing of a patent application/s in the name of CSU with the
                      Originator/s as the named inventor/s;

               (c)    the identification of potential licensees, assignees or joint venture

               (d)    the need for confidentiality by CSU and/or the Originator; and/or

               (e)    reporting on disbursement of income at a minimum interval of six
                      (6) months.

       9.9     Where CSU decides to be involved in the exploitation of intellectual
               property in any invention, the Originator shall provide all reasonable
               assistance in the exploitation process, consistent with terms and
               conditions of employment by CSU by, for example, attending meetings
               with potential commercial partners and advising on further development
               of the invention.


       10.1 Net income received by CSU as a result of the successful
            commercialisation of intellectual property in any invention or in teaching
            materials sold beyond the Charles Sturt University market shall be
            distributed as follows (see the “Outside Professional Activities Policy” for
            further details):

               50% of net income to the Originator;
               25% of net income to the appropriate Faculty, School, Centre or Division;
               25% of net income to the University account nominated by the Vice-

               These percentages may be varied by mutual agreement among the

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       10.2 Where more than one Originator is involved, the distribution of their
            share of the net income between themselves will be a matter for them to
            determine except that, where there is a failure to agree, then income
            shall be distributed in proportions to be determined by the Intellectual
            Property and Outside Professional Activities Committee.

       10.3 The revenue sharing arrangements in sub-clause 10.1 shall not be
            available to Originators who are specifically contractually obliged to
            create and develop intellectual property or inventions so far as that
            intellectual property or those inventions are concerned. Any payments to
            Originators in this category, other than payments governed by their
            contract of employment, shall be determined by the Vice-Chancellor on
            the recommendation of the Intellectual Property and Outside Professional
            Activities Committee.


       CSU shall conduct an ongoing intellectual property education program with the
       following objectives:

       (a)     to inform staff and students of their rights, responsibilities and
               opportunities in relation to intellectual property;

       (b)     to inform staff and students of any changes to policy; and

       (c)     to generate a better understanding of intellectual property issues in


       The Commercialisation Officer shall have the duties, responsibilities and
       powers conferred by this policy.


       13.1 The Intellectual Property and Outside Professional Activities Committee

               (a)    the Pro-Vice-Chancellor     (Research   and   Graduate   Training)
                      (Presiding Officer);

               (b)    the Executive Director, Financial Services or nominee;

               (c)    up to three (3) staff members nominated by the Vice-Chancellor,
                      following consultation with the Deans and Heads of School;

               (d)    one (1) postgraduate research student nominated by the Pro-Vice-
                      Chancellor (Research and Graduate Training) after consultation
                      with the student associations; and

               (e)    other persons, who may be external to the University, possessing
                      expertise relevant to the field, coopted from time to time by
                      recommendation of the above committee to the Vice-Chancellor.

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               IN ATTENDANCE:
               The Commercialisation Officer
               The University Legal Officer

       13.2 The Committee shall:

               (a)    make recommendations to the Vice-Chancellor in respect to
                      approvals under the Intellectual Property and Outside Professional
                      Activities Policies, including any condition that should be attached
                      to any approval;

               (b)    oversee the implementation of the Intellectual Property and Outside
                      Professional Activities policies, with special attention to
                      requirements on information and education;

               (c)    conduct a review of existing policies at periodic intervals, or as
                      circumstances demand, and recommend appropriate changes to
                      the Vice-Chancellor;

               (d)    make recommendations to the Vice-Chancellor on approvals for
                      publication under sub-clause 6.3 of this policy;

               (e)    make recommendations to the Vice-Chancellor on individual
                      contracts on publication and disbursement of royalty as described
                      in sub-clause 9.1 of this policy;

               (f)    consider and make recommendations to the Vice-Chancellor on
                      assignment of CSU intellectual property to Originators under sub-
                      clauses 9.3 to 9.6 of this policy;

               (g)    recommend to the Vice-Chancellor whether the University should
                      lodge the Complete Specification for any provisional patent
                      application; and

               (h)    provide advice, on request, to the Vice-Chancellor on any matter
                      relating to outside professional activities, intellectual property and

       13.3 The Committee shall meet at least twice each year.

14.    REVIEW

       14.1 The decision of the Vice-Chancellor in relation to Intellectual Property
            shall not be subject to internal appeal or review.

       14.2 Nothing in this policy prevents an employee from accessing CSU’s
            “Grievance Resolution and Procedure”.


       The authorised signatory on behalf of the University on matters relating to
       intellectual property or outside professional activities shall be the Vice-

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Guidelines, forms and advice on intellectual property – contact the
Commercialisation Officer in the Centre for Research and Graduate Training.

Table of amendments

   Version            Date                Short description of amendment
 2.0              18/10/2000
 3.0              27/5/2004
 4.0              18/11/2005   Policy reformatted into CSU style.
                               Appeals committee and process removed.

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